Head of Compliance & Risk

We are partnered with a leading Financial Planning firm seeking an experienced and strategic Head of Compliance & Risk to lead their compliance function. This is an exceptional opportunity for a seasoned professional to shape compliance strategy, mentor a talented team, and drive regulatory excellence in a dynamic, client-focused environment.

As the Head of Compliance & Risk, you will take full ownership of the firm’s compliance and risk functions. You’ll be instrumental in ensuring regulatory adherence while fostering a culture of ethical excellence and continuous improvement.

• Leadership & Mentorship: Lead and inspire the compliance team, including mentoring the Compliance Manager and junior staff to enhance their skills and effectiveness.
• Strategic Oversight: Develop and oversee the Compliance Monitoring Programme, ensuring alignment with evolving regulatory requirements and business objectives.
• Risk Management: Lead risk assessments, including AML evaluations and enhanced due diligence for new and existing clients.
• Regulatory Expertise: Ensure compliance with FCA regulations, including TCF, SMCR, and financial crime policies. Provide expert guidance on regulatory developments.
• Complaints Management: Take responsibility for the complaints process, ensuring timely and compliant resolution of issues.
• Training & Development: Create and implement compliance training programs for all staff, fostering a culture of regulatory awareness and excellence.
• Audit & Reporting: Conduct internal audits, produce compliance reports for senior management and regulators, and oversee Management Information (MI) reporting.
• Decision-Making Authority: Handle escalated compliance matters and approve high-risk business cases.

• Leadership Experience: Proven ability to lead and mentor teams in a compliance or risk management setting.
• Regulatory Expertise: Extensive knowledge of FCA regulations, AML requirements, and financial planning products.
• Professional Qualifications: Level 5 or higher qualification (Chartered status preferred).
• Analytical Skills: Strong problem-solving abilities with a track record of effective risk mitigation.
• Communication Excellence: Confident in presenting compliance updates to senior stakeholders and regulators.
• Organisational Strength: Highly detailed and capable of managing multiple priorities effectively.

• Competitive Salary: £55,000 - £70,000, depending on experience.
• Performance-Based Incentives: Rewards and salary increments based on results.
• Work-Life Balance: Hybrid working arrangements and negotiable hours.
• Comprehensive Benefits:
  • Pension scheme with 5.5% employer contributions.
  • Health and life insurance, income protection, and critical illness cover.
  • 25 days holiday plus statutory holidays, increasing with service length.
  • Free parking and a supportive work environment.

This is a rare opportunity to step into a senior leadership role at a firm committed to excellence and growth. You’ll have the autonomy to shape compliance strategy, mentor a talented team, and contribute to a dynamic, client-focused organization that values professional development and innovation.